Investment Adviser Essentials: A Plain English Explanation of Financial Advice Basics

Investment Adviser Essentials is designed to familiarize financial services employees with the essential elements of securities investing, the investment advisory industry, and how both federal and state securities regulations guide the conduct of professionals in the business.Whether you are new to the industry or a veteran looking to stay current, this book, Investment Adviser Essentials, is the perfect summary to expand your knowledge of the investment advisory industry. Within this book you will learn about: • Regulations for the securities investment industry • Basic economic concepts • Financial reporting • Mutual funds and other investment vehicles • Taxation • Retirement plans • And much, much more.With this knowledge, you will gain insight into the financial markets, better understand investors and the investment vehicles available to them, and familiarize yourself with some of the regulatory issues connected to the investment advisory industry.